Securities Broker Jason Poff Sanctioned By FINRA, Accused Of Sales Practice Violations By LPL And Chase Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck, which houses important information about securities brokers, contains new disclosures regarding securities broker Jason Howell Poff (CRD#: 4078570, Houston, Texas). Specifically, FINRA issued Poff a fine and suspension for alleging engaging in […]

Broker Elias Hakimian (LPL Financial) Fined For Borrowing, Accused Of Churning By Investor The Financial Industry Regulatory Authority (FINRA) reportedly issued a three-month suspension to Elias Moses Hakimian (CRD#: 4404048, Seal Beach, California) as a securities broker and fined him $5,000 for allegedly borrowing from a client of LPL Financial. In addition, an investor filed […]

Raymond James' Michael Biedny Fined By FINRA And Accused Of Sales Practice Violations The Financial Industry Regulatory Authority (FINRA) reportedly issued a suspension and fine to securities broker Michael Alan Biedny (CRD#: 867868, Clarence, New York). This is to resolve allegations of Biedny violating a FINRA rule by concealing money he received from a senior […]

Broker Gordon Bryan (Wells Fargo) Suspended By FINRA, Accused Of Excessive Trading Soreide Law Group discusses BrokerCheck disclosures relating to securities broker Gordon Leonard Bryan (CRD#: 1292315, Terre Haute, Indiana). Notably, FINRA issued Bryan a two-month suspension and a $5,000 fine to resolve allegations that he engaged in an undisclosed outside business activity. In addition, […]

FINRA Bars Securities Broker Brian Radoo, And Investors File Disputes About Him The Financial Industry Regulatory Authority (FINRA) contains important regulatory sanctions and client disputes involving securities broker Brian Radoo (CRD#: 2558458, Tucson, Arizona). It appears on BrokerCheck that FINRA barred Radoo as a securities broker in December 2020. Six investors filed disputes alleging sales […]

Securities Broker Byron Treat Barred For Allegedly Failing To Comply In FINRA Investigation Over Church Bond Sales Soreide Law Group provides you with an update regarding the FINRA BrokerCheck disclosures connected to securities broker Byron Pat Treat (CRD: 1466393, Amarillo, Texas). Namely, FINRA barred Treat indefinitely following an investigation into his supervision of illiquid investment […]

Broker Wes Patterson Gets Suspended By FINRA For Selling Away The Financial Industry Regulatory Authority (FINRA) reportedly suspended securities broker Micah Wesley Patterson (“Wes Patterson”) (CRD#: 5562392, Layton, Utah), who worked for securities firms Northwestern Mutual Investment Services, MML Investors Services LLC (2014 to 2017), and most recently, Hornor Townsend Kent LLC (2017 to 2020). […]

Securities Broker Nick Palumbo, Who FINRA Barred, Is Involved In An Investor Dispute The Soreide Law Group has come across important information regarding securities broker Nicholas Richard Palumbo (“Nick Palumbo”) (CRD#: 1069948, Armonk, New York). It appears that an investor challenged Palumbo’s sales practices at Park Avenue Securities LLC, where he worked from May 1999 […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: KALOS CAPITAL, INC., and their registered representative, ERIC PETER WESCHKE (Respondents). The Claimant brings this action to recover investment losses experienced due to the Respondents alleged recommendations of unsuitable alternative investments, business development corporations (BDCs) and real estate investment trusts […]